- Citigroup (Getzville, NY)
- …to assist in the clearance, settlement and investigation of client securities and derivatives transactions. **Responsibilities:** + Utilize basic industry and ... used to present information to management + Support implementation of securities processing improvements + Assist with identifying policy gaps and formulating… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $100,000 - $130,000 USD TD is committed to providing fair ... for this role. **Job Description:** **Preferred Qualifications:** This Senior Compliance Officer is a key member of the TDS...in Word, Excel and PowerPoint **Who We Are** TD Securities offers a wide range of capital markets products… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $110,000 - $135,000 USD TD is committed to providing fair ... specific details for this role. **Job Description:** This Senior Compliance Officer is a key member of the TDS...essential functions for ADA purposes. **Who We Are** TD Securities offers a wide range of capital markets products… more
- Medtronic (Northridge, CA)
- …Day in the Life** This newly created Principal Legal Counsel - M&A, Securities and Corporate Governance role supports the Diabetes MiniMed business as it prepares ... for a legal professional with deep expertise in mergers and acquisitions and securities law to contribute to the strategic direction of a business undergoing a… more
- TD Bank (New York, NY)
- …New York, New York, United States of America **Hours:** 40 **Line of Business:** Compliance **Pay Detail:** $140,000 - $180,000 USD TD is committed to providing fair ... more specific details for this role. **Job Description:** The VP Compliance TDS oversees/leads a team(s) of specialists/professionals providing advice, guidance and… more
- AbbVie (North Chicago, IL)
- …skills and a demonstrated ability to advise corporate functions on key securities and finance-related matters. The ideal candidate will be a detail-oriented, ... also independently manage complex, fast-paced legal assignments. The Associate General Counsel, Securities and Finance attorney will join a team of lawyers primarily… more
- JPMorgan Chase (Brooklyn, NY)
- …adoption of the strategic source of record for Wealth Management Securities Reference Data-including Instrument, Pricing, Classification, and Issuer data. You will ... between Business and Technology, driving strategy, support, and adoption for Securities Reference Data, with a primary focus on Classification. **Job… more
- Wells Fargo (Minneapolis, MN)
- **About this role:** Wells Fargo is seeking a Lead Securities Operations Specialist as a part of the Regulatory Reporting Team within Wealth and Investment ... Lead Specialist will drive complex lifecycle initiatives and operational excellence within Securities Operations as a strategic leader. This role plays a critical… more
- TD Bank (New York, NY)
- …is a first line of defense team responsible for providing risk and compliance advice and oversight to ensure our TDS business partners have adequately considered, ... operations, products and services, and are operating within risk appetite in compliance with regulatory requirements, Bank policies and risk appetite. Members of TDS… more
- Raymond James Financial, Inc. (Denver, CO)
- …practices, procedures, and methods. + Concepts, practices, and procedures of securities industry and/or banking compliance , including suitability and other ... and branch managers. + Monitors and keeps up to date with securities /advisory regulations and applies them accordingly. + Interprets, applies, and recommends changes… more